1. Policy Frameworks: building a firm foundation for your IR Jackie Knowles ‏

2. Aim of the session To gain an understanding of policies and their purpose in a repository context. To outline some key strategic and operational policies of use to repository managers. To demonstrate the OpenDOAR policies tool which assists managers in creating their policy framework.

3. Content The place of policy Strategic policies Operational policies Use policies Content policies Submission policies Preservation policies The OpenDOAR policy tool - demonstration Conclusion

4. Why do we need a policy? ©Terry Bain

5. The place of policy For purpose a high-level vision will help buy-in For clarity Clarify responsibilities and lines of communication To inform practice and define process Promote equity, standardisation and consistency For planning risk management IPR and compliance clarifying policies exposes resource implications For support formalises decisions get sign-off by senior managers

6. Strategic institutional policies Institutional IPR policy research teaching materials theses Dissertations Institutional mandates Funding body policies

7. Operational policies Key policy options Use policies Metadata Data Content policies Submission policies Preservation policies

8. Use policies define … What end users can do with your metadata and content How you deal with restrictions and conditions imposed by publishers Whether you have a repository wide policy, or define permitted use at an item level Take down policy

9. Content policies define… Repository Type Institutional or departmental repository Multi-institution subject-based repository Subject Specialities Type of Material e.g. Research papers, e-theses, learning objects etc.

10. Content policies define… Publication Status Pre-prints (not peer-reviewed)‏ Final peer-reviewed drafts (post-prints)‏ Published versions Principle Languages

11. Submission policies define … Eligible Depositors By role and/or organisation unit Or their delegated agents Deposition Rules Who can deposit what – usually own work only Staff movement policies Mandatory deposition of metadata How embargoes are dealt with

12. Submission policies define … Moderation (vetting)‏ What, if anything, is vetted by the administrator e.g. eligibility, relevance, valid layout. Content Quality Control (peer review)‏ Responsibility for the validity and authenticity of the content Not checked, or checking by internal subject specialists. Copyright Policy Responsibility for copyright clearance Dealing with proven copyright violations

13. Preservation policies define … Retention period Functional preservation File preservation Withdrawal policy Version control Closure policy

14. The OpenDOAR policy tool OpenDOAR has created a simple tool to help repository administrators to formulate and/or present their repository's policies. It provides a series of check boxes and pick lists for all the key policy options.

15. Demonstration http://www.opendoar.org/tools/en/policies.php

16. Conclusion Remember the importance of a take down policy. Your policies will be formalised in your licences. User licence Submission licence Your policy will be a living document – define it, use it, review it, update it.

17. Policy tips Look at OpenDOAR. Learn from others! - ask around for copies of repository policies. Ask for help from the RSP!

18. Jackie Knowles‏ jackie.knowles@aber.ac.uk